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- Tasks: Manage compliance tasks, including regulatory filings and audits for a buy side institution.
- Company: Join a reputable buy side outfit known for its strong compliance culture.
- Benefits: Enjoy a competitive salary and the opportunity to work in a dynamic environment.
- Why this job: This role offers a chance to enhance your compliance skills while making a real impact.
- Qualifications: Previous private credit and buy side experience is essential for this position.
- Other info: Expect to work four days in the office and collaborate with a dedicated team.
The predicted salary is between 72000 - 108000 £ per year.
We are currently working with a great buy side outfit for a 12 month compliance contract role. Key responsibilities include: FCA and other relevant regulatory filings (e.g. FCA REP-CRIM) Updating and maintaining the compliance manual, policies and procedures Preparation for external/internal audits and operational due diligence Reviewing, approving and maintaining registers in relation to conflicts of interest, restricted lists, errors and breaches, personal account dealing, outside business activities, corporate gifts and entertainment etc. Coordinating and organising compliance training for staff, including new joiners Four days in the office expected. Previous private credit and buy side experience required to be in contention. Please contact: gbalasubrama@mlaglobal.com to find out more about this position.
Compliance Manager (Interim)- £90k-£140k- Buy Side Institution employer: Major, Lindsey & Africa
Contact Detail:
Major, Lindsey & Africa Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager (Interim)- £90k-£140k- Buy Side Institution
✨Tip Number 1
Make sure you have a solid understanding of FCA regulations and compliance requirements specific to the buy side. Familiarize yourself with recent changes in regulations that may impact the role.
✨Tip Number 2
Highlight your previous experience in private credit and any relevant compliance roles. Be prepared to discuss specific examples of how you've managed compliance issues or audits in the past.
✨Tip Number 3
Network with professionals in the compliance field, especially those who have worked in buy side institutions. This can provide valuable insights and potentially lead to referrals.
✨Tip Number 4
Prepare to demonstrate your ability to coordinate and deliver compliance training effectively. Think of ways you can engage staff and ensure they understand the importance of compliance in their daily activities.
We think you need these skills to ace Compliance Manager (Interim)- £90k-£140k- Buy Side Institution
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the key responsibilities of a Compliance Manager. Highlight your relevant experience in FCA regulatory filings and compliance manual updates.
Tailor Your CV: Customize your CV to emphasize your previous private credit and buy side experience. Include specific examples of how you've handled compliance tasks, audits, and training coordination.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying and how your skills align with the requirements of the role. Mention your familiarity with compliance policies and procedures.
Proofread Your Application: Before submitting, carefully proofread your application materials for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Major, Lindsey & Africa
✨Know Your Regulations
Make sure you are well-versed in FCA regulations and other relevant compliance requirements. Be prepared to discuss specific filings like FCA REP-CRIM and how you've handled them in previous roles.
✨Showcase Your Experience
Highlight your previous experience in private credit and buy-side institutions. Be ready to provide examples of how you've updated compliance manuals or prepared for audits.
✨Demonstrate Training Skills
Since coordinating compliance training is a key responsibility, think of examples where you've successfully trained staff or implemented compliance programs. This will show your capability in this area.
✨Prepare for Scenario Questions
Expect scenario-based questions regarding conflicts of interest, breaches, and personal account dealing. Prepare to discuss how you would handle these situations based on your past experiences.
